Compliance Manager

Location: US Remote (Central & Eastern Time Zones Preferred)

About the role

At Confluence, we’ve always been driven by a commitment to innovation, precision, and partnership in the investment data space. Our global footprint now spans multiple countries, giving our employees the opportunity to gain exposure to other countries and cultures. We're looking for a Compliance Manager to join our specialist Compliance Services team. This is an opportunity to work across a diverse portfolio of investment adviser, broker-dealer, and private fund clients, supporting critical compliance activities and helping organizations navigate complex regulatory requirements. You'll become part of a close-knit, highly collaborative team while benefiting from the resources, stability, and opportunities that come with being part of a larger global organization.

Responsibilities

• Preparing and supporting regulatory filings, including Form ADV, Form 13F, Form U4, and Form U5 filings.
• Conducting electronic communications reviews and surveillance activities.
• Supporting compliance testing and compliance program reviews.
• Administering and testing Code of Ethics programs.
• Managing recurring regulatory deadlines and client deliverables.
• Utilizing compliance technology solutions to support monitoring and program administration.
• Working directly with clients to deliver high-quality compliance support and guidance.
• Managing multiple client engagements simultaneously while maintaining exceptional standards of accuracy and service.

Requirements

Essential Requirements

• 3+ years of compliance experience within the investment management industry.
• Experience preparing regulatory filings through IARD, EDGAR, FINRA Gateway, and/or CRD.
• Hands-on experience with Form ADV, Form 13F, Form U4, and Form U5 filings.
• Investment adviser compliance experience.
• Experience with Code of Ethics administration, electronic communications surveillance, and/or compliance monitoring.
• Strong Excel, data management, and analytical skills.
• Excellent written and verbal communication skills.
• Strong attention to detail and organizational skills.
• Ability to manage multiple priorities and client deliverables.
• Proactive, self-sufficient approach to work.
• Bachelor's degree or equivalent experience.

Desirable Requirements

• Broker-dealer compliance experience.
• Experience supporting private fund advisers or registered investment companies.
• Compliance consulting experience.
• Experience gained within an investment adviser, wealth manager, broker-dealer, or custodian adviser.
• Familiarity with ACM, Hadrius, Greenboard, or similar compliance monitoring systems.
• Experience with electronic communication retention and monitoring solutions.
• Industry certifications such as IACCP, CRCP, ACAMS, Series 7, Series 24, or Series 65.

Benefits of the Role

• Fully remote working environment.
• Exposure to investment advisers, broker-dealers, private funds, and registered funds.
• A varied workload spanning regulatory filings, compliance testing, surveillance, and risk assessments.
• Opportunity to develop expertise using compliance technology solutions.
• Significant client exposure and visibility.
• Small team culture with the support and resources of a larger organization.

Benefits

• Generous Time Off packages including additional half days with each public holiday in your location.
• Global Career Development opportunities.
• Social Events.
• Referral Bonus scheme - Up to $3,000 per successful referral.

Schedule

Fully remote US-based role with minimal travel requirements. Preference for candidates located within the Central or Eastern time zones.

Values

We look for people who align with our 4 values:

• Integrity: Face reality with honesty, courage, and accountability.
• Imagination: Deal creatively with challenges and envision what the world could be.
• Discipline: Build good habits into reflexes which become a part of our life.
• Service: Committed to the success of others.